Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Grants Relief From Risk Retention In Refinancing Transaction

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Investment Advisers The SEC granted Crescent Capital Group LP no-action relief if it does  not retain an eligible risk retention interest under Section 15G of the Securities and Exchange Act of 1934 in connection with a refinancing of CLOs that were issued in a CLO transaction priced prior to the December 24, 2014 publication of the Credit […] Read more →

by   |   July 17, 2015

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SEC Charges KKR With Misallocating Broken Deal Expenses

Investment Advisers, Litigation, M&A, Private Equity Everyone knew the SEC would pursue a marquee-name private equity sponsor for misallocating expenses.  It finally happened, with KKR settling charges for misallocating “broken... Read more →

by   |   June 29, 2015

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SEC Proposes Significant Reporting Requirement Amendments to Form ADV

Broker-Dealer, Investment Advisers On May 20, 2015, the Securities and Exchange Commission (SEC) released several proposals, “Amendments to Form ADV and Investment Advisers Act Rules,” that would... Read more →

by   |   June 25, 2015

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SEC Exams to Focus on Sales of Retirement Products

Broker-Dealer, Investment Advisers The SEC Office of Compliance Inspections and Examinations, or OCIE, has launched a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) Initiative.  OCIE is... Read more →

by   |   June 22, 2015